S&P 500 Healthcare Sector SEC Filings — April 06, 2026

06-04-2026

Neurocrine Biosciences (NBIX) has agreed to acquire Soleno Therapeutics (SLNO) for $53.00 per share in cash, representing a total equity value of $2.9 billion and premiums of 34% to the April 2, 2026 closing price and 51% to the 30-day VWAP. The deal adds VYKAT XR (diazoxide choline), which generated $190 million in 2025 revenue ($92 million in Q4), to Neurocrine's portfolio of first-in-class therapies including INGREZZA ($2.51 billion in 2025 revenue) and CRENESSITY ($301 million in 2025 revenue), strengthening its endocrinology and rare disease presence with IP extending into the mid-2040s. The transaction, funded by cash and modest debt without a financing condition, is expected to close within 90 days subject to regulatory approvals and customary conditions.

• ·PWS occurs in one in every 15,000 live births per Prader-Willi Syndrome Association USA.
• ·VYKAT XR approved by FDA in March 2025; CRENESSITY approved in December 2024.
• ·Neurocrine to host conference call at 8:00 AM ET on April 6, 2026.
• ·Advisors: Goldman Sachs & Co. LLC (financial, Neurocrine), Cooley LLP (legal, Neurocrine), Centerview Partners LLC and Guggenheim Securities, LLC (financial, Soleno), Wilson Sonsini Goodrich & Rosati (legal, Soleno).

06-04-2026

Genworth Financial, Inc. (GNW) has filed definitive additional proxy materials (DEFA14A) for its 2026 Annual Meeting on May 20, 2026, at 9:00 a.m. ET virtually. Shareholders are to vote on electing ten director nominees, advisory approval of named executive officer compensation, approval of the 2026 Associate Stock Purchase Plan, and ratification of KPMG LLP as the independent auditor for 2026, with the Board recommending 'FOR' all items. No financial performance metrics or period comparisons are provided in the filing.

• ·Vote deadline: May 19, 2026 11:59 PM ET (May 17 for Plan shares, May 18 for Canadian Plan shares)
• ·Request proxy materials by May 6, 2026 via www.ProxyVote.com, 1-800-579-1639, or sendmaterial@proxyvote.com
• ·Virtual meeting URL: www.virtualshareholdermeeting.com/GNW2026
• ·This is the Board's WHITE proxy card

06-04-2026

Biogen Inc. expects approximately $34 million in acquired in-process research and development, upfront and milestone expenses for the first quarter of 2026 on a pre-tax basis, negatively impacting both GAAP and non-GAAP net income per diluted share by about $0.19. These preliminary unaudited results for the quarter ended March 31, 2026, are subject to final financial statement closing procedures and may differ from final figures. The company notes uncertainty in forecasting such expenses due to their unpredictable timing and magnitude.

• ·Expenses include costs from collaboration and license agreements, such as upfront and milestone payments, premiums on equity securities, and asset acquisitions.
• ·Biogen does not forecast such acquired in-process research and development expenses due to uncertainty in future occurrence, magnitude, and timing.

06-04-2026

Financial Institutions, Inc. (FIISP) filed Definitive Additional Proxy Materials (DEFA14A) on April 06, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing is marked as 'Definitive Additional Materials' with no fee required. No financial data, metrics, or specific proxy proposals are detailed in the provided content.

06-04-2026

Principal Financial Group, Inc. (PFG) released its 2026 Proxy Statement ahead of the annual meeting, recommending votes FOR the election of five Class I director nominees (Auerbach, Beams, Carter-Miller, Mills, Muruzabal), advisory approval of executive compensation, ratification of Ernst & Young as independent auditors, and approval of the 2026 Stock Incentive Plan. The proxy highlights strong industry recognitions including No. 1 rankings in defined benefit plans, ESOP services, nonqualified deferred compensation, and group life insurance, alongside board refreshment with six new independent directors since 2019 (50% women) and an average tenure of nine years. No declines or underperformance are noted, with emphasis on diversified business mix, governance, and sustainability.

• ·Board has three classes of directors with staggered three-year terms.
• ·50% of independent directors appointed within the last six years.
• ·Ranked No. 1 in Defined benefit plan service provider (PLANSPONSOR, Sep 2025), ESOP service provider (PLANSPONSOR, Jun 2025), Nonqualified deferred compensation (PLANSPONSOR, Jun 2025), and Group Life (LIMRA, Apr 2025).
• ·No. 3 401(k) provider by participants (PLANSPONSOR, Jun 2025).
• ·Principal Asset Management: Top 10 Global real estate manager (P&I 2025), #1 Brazil voluntary pension (Fenaprevi, Sep 2025), #2 Chile voluntary pension by AUM (CMF, Sep 2025).

06-04-2026

TAP Real Estate Technologies, Inc. entered into an Amendment to License Agreement with TAP, Inc. on March 31, 2026, extending the original agreement's term (entered December 30, 2025) from March 31, 2026, to June 30, 2026. The extension provides additional time to negotiate a final license agreement for certain technology. No financial terms or impacts are disclosed in the filing.

• ·Form 8-K filed on April 6, 2026, reporting event of March 31, 2026.
• ·Exhibit 10.1: Amendment to License Agreement dated March 31, 2026.

06-04-2026

FrontView REIT, Inc. (NYSE: FVR) filed an 8-K on April 6, 2026, under Items 7.01 and 9.01, furnishing a press release announcing its first quarter investment activity update (Exhibit 99.1). The filing confirms the company is an emerging growth company. No specific financial metrics or performance details were disclosed in the filing body.

• ·Principal executive offices: 3131 McKinney Avenue, Suite L10, Dallas, Texas 75204
• ·Telephone: 214 796-2445
• ·Securities: Common stock, $0.01 par value per share, trading as FVR on NYSE
• ·Incorporated in Maryland; Commission File Number: 001-42301; IRS Employer ID: 93-2133671

06-04-2026

Bank of the James Financial Group, Inc. (BOTJ) issued Definitive Additional Proxy Materials (DEFA14A) for its 2026 Annual Meeting on May 19, 2026, at 1:00 p.m. ET virtually. Key voting items include the election of four director nominees (Robert R. Chapman III, Julie P. Doyle, Lydia K. Langley, Augustus A. Petticolas, Jr.), ratification of Elliott Davis, PLLC as independent auditors for the fiscal year ending December 31, 2026, and an advisory vote on executive compensation. No other business is anticipated beyond procedural matters.

• ·Vote deadline: May 18, 2026, 11:59 PM ET at www.proxyvote.com
• ·Material request deadline: May 5, 2026 via www.proxyvote.com, 1-800-579-1639, or sendmaterial@proxyvote.com
• ·Virtual meeting access: www.virtualshareholdermeeting.com/BOTJ2026
• ·Filing date: April 6, 2026

06-04-2026

Tompkins Financial Corporation (TMP) filed a DEFA14A Definitive Additional Proxy Materials on April 06, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing is marked as soliciting material with no fee required. No specific proposals, financial data, or substantive content is included in the provided header.

06-04-2026

Skye Bioscience, Inc. (SKYE) filed a preliminary proxy statement (PREM14A) for its 2026 Annual Meeting of Stockholders, to be held virtually via live webcast. Key proposals include electing six director nominees for one-year terms, ratifying CBIZ CPAs P.C. as independent auditors for the year ending December 31, 2026, approving an amendment to increase authorized common shares from 100,000,000 to 300,000,000, and an advisory vote on named executive officer compensation. The Board recommends voting 'For' all proposals; no financial performance metrics or period comparisons are disclosed in the filing.

• ·Annual Meeting accessible only via live webcast at www.virtualshareholdermeeting.com/SKYE2026
• ·Transfer agent: Broadridge Financial Solutions, Inc.
• ·Company address: 11250 El Camino Real, Suite 100, San Diego, CA 92130

06-04-2026

Citius Pharmaceuticals, Inc. held its 2026 annual meeting of stockholders on April 6, 2026, electing seven directors—Leonard Mazur, Myron Holubiak, Suren Dutia, Dr. Eugene Holuka, Dennis M. McGrath, Robert Smith, and Carol Webb—for one-year terms, with For votes ranging from 2,311,462 to 2,485,904, Withheld votes from 976,783 to 1,151,225, and 6,660,992 broker non-votes across all nominees. Stockholders ratified Wolf & Company, P.C. as the independent registered public accounting firm for the fiscal year ending September 30, 2026, with 8,593,946 votes for, 855,866 against, and 673,867 abstentions.

• ·All seven director nominees received between 2,311,462 and 2,485,904 For votes and 976,783 to 1,151,225 Withheld votes.
• ·No broker non-votes on auditor ratification.

06-04-2026

On April 1, 2026, New Mountain Net Lease Trust sold 829,244 common shares of beneficial interest in its continuous private offering for aggregate consideration of approximately $16.65 million at the most recently determined net asset value per share. This included 28,274 Class F Common Shares for $570,000 and 800,970 Class I Common Shares for $16,083,485. The sale was exempt from registration under Section 4(a)(2) and Rule 506 of Regulation D.

• ·Shares sold exempt from Securities Act registration under Section 4(a)(2) and Rule 506 of Regulation D.
• ·Event reported in Form 8-K filed on April 6, 2026.

06-04-2026

New Era Energy & Digital, Inc. entered into an Amended and Restated Promissory Note dated April 6, 2026, with principal amount of $5,000,000 issued to Zachary Yi Zhou, which converts into shares of common stock at the Maturity Date. The Maturity Date is the earliest of September 30, 2026, closing of the TCDC Project Credit Facility, a Qualified Equity Financing raising $10,000,000 or more, or acceleration upon an Event of Default. Interest accrues at 5% per annum (or 18% upon default), payable in shares, with a potential MOIC Premium of up to 2% of the original principal upon full repayment.

• ·Conversion Price: Qualified Equity Financing Price Per Share, or average VWAP for 30 trading days prior to Maturity Date if no QEF.
• ·Events of Default include non-payment (5 Business Days cure for interest) or Bankruptcy Event, triggering acceleration and payment in shares.
• ·Governing law: State of Delaware; exclusive jurisdiction in Delaware courts.

06-04-2026

Cisco Systems, Inc. announced the resignation of Director Daniel H. Schulman from its Board, effective May 21, 2026, due to his new role as Chief Executive Officer of Verizon Communications Inc. On April 4, 2026, the Board appointed Peter A. Shimer as an independent director effective April 6, 2026, and assigned him to the Audit Committee. Mr. Shimer will receive standard non-employee director compensation, including pro rata portions of the $105,000 annual cash retainer and $270,000 initial equity award grant date fair value.

• ·Daniel H. Schulman notified resignation on March 31, 2026.
• ·Non-employee directors may elect to receive cash retainers in fully vested shares, deferred stock units, or deferred cash.
• ·Mr. Shimer entered into Cisco’s standard Indemnity Agreement.

06-04-2026

Praxis Precision Medicines announced positive topline results from the EMBRAVE Part A Phase 1/2 trial of elsunersen in pediatric SCN2A DEE patients, showing a 77% placebo-adjusted seizure reduction (p=0.015), 57% of patients achieving at least 28-day seizure freedom, and 100% improvement in key developmental areas versus placebo, with sustained efficacy up to one year in the OLE and favorable safety profile up to 8 mg doses. Additionally, the FDA accepted the NDA for relutrigine in SCN2A and SCN8A DEEs for priority review, with a target action date of September 27, 2026.

• ·EMBRAVE Part A: randomized 3:1 elsunersen vs. sham procedure every 4 weeks for 24 weeks; starting dose 1 mg with escalation to 8 mg.
• ·Elsunersen well-tolerated: no drug-related serious adverse events, no discontinuations, no neuroinflammation; TEAEs mild to moderate.
• ·FDA NDA priority review target action date: September 27, 2026 for relutrigine in SCN2A and SCN8A DEEs.

06-04-2026

FB Financial Corporation issued a DEFA14A notice regarding the availability of proxy materials for its 2026 Annual Meeting of Shareholders, scheduled for May 21, 2026, at 1:00 p.m. Central Time at 1221 Broadway, Suite 1300, Nashville, Tennessee 37203. Shareholders will vote on electing 13 directors, approving the 2026 Incentive Plan and an amendment to the Employee Stock Purchase Plan, a non-binding advisory vote on named executive officer compensation, amendments to the charter to eliminate supermajority voting standards, and ratification of Crowe LLP as independent auditors for the fiscal year ending December 31, 2026. Proxy materials are accessible online at www.investorvote.com/FBK, with electronic votes due by 11:00 p.m. Central Time on May 20, 2026, and paper copy requests needed by May 7, 2026.

• ·Board of Directors recommends FOR all 13 director nominees and FOR Proposals 2 through 6.
• ·Investor Relations contact: (615) 564-1212.

06-04-2026

Elvictor Group, Inc. (ELVG) reported total revenue of $2,427,968 for the year ended December 31, 2025, up 0.3% YoY from $2,421,308, with gross revenue increasing 1.5% to $1,871,292; however, net revenue declined 3.6% to $556,676 and gross profit fell 3.4% to $1,805,223 amid higher costs. The company swung to a net loss of $175,719 (EPS -$0.21) from a $199,780 profit (EPS $0.24) in 2024, driven by operating expenses rising 19% to $2,014,960, resulting in an operating loss of $209,737 versus a $177,519 profit. Positively, cash improved to $490,974 from $101,089 with operating cash flow of $418,351 versus a $583,519 outflow, and management executed nine new crew management contracts in Q1 2026 expected to materially boost revenue.

• ·Total current liabilities increased to $1,492,125 as of Dec 31, 2025 from $1,099,152.
• ·Cash flows from operating activities turned positive at $418,351 in 2025 from -$583,519 in 2024.
• ·Management pursuing additional capital through equity and other financing for working capital and diversification.
• ·Audited by RBSM LLP (PCAOB ID #587).

06-04-2026

BOK Financial Corp announced on March 31, 2026, that Scott Andrews has been promoted to the role of Executive Vice President – Specialized Industries Banking, succeeding Brad Vincent who plans to retire effective November 30, 2026. A press release detailing the appointment is attached as Exhibit 99.1. The filing was signed by Martin E. Grunst, Executive Vice President and Chief Financial Officer.

• ·Event reported date: March 31, 2026
• ·Filing date: April 6, 2026
• ·Press release title: 'Scott Andrews has been named head of specialized industries for BOK Financial.'

06-04-2026

South Plains Financial, Inc. (SPFI) filed a definitive proxy statement (DEF 14A) on April 6, 2026, for its 2026 Annual Meeting of Shareholders, to be held virtually on May 11, 2026, at 2:00 p.m. Central Time. The meeting agenda includes electing two Class I directors to serve until the 2029 annual meeting, ratifying Forvis Mazars, LLP as the independent auditor for the year ending December 31, 2026, and an advisory vote on named executive officer compensation. The record date is March 19, 2026, and attendance requires a 16-digit control number via www.virtualshareholdermeeting.com/SPFI2026.

• ·Meeting held solely by remote communication per Texas law and Third Amended and Restated Bylaws; no in-person attendance allowed.
• ·2025 Annual Report to Shareholders and Form 10-K for year ended December 31, 2025 available at www.proxyvote.com and https://www.spfi.bank/financials-filings/sec-filings.
• ·Shareholder proposals for 2027 annual meeting due by specified date (details in full proxy statement).

06-04-2026

Six Flags Entertainment Corporation completed the sale of six parks—Worlds of Fun (Kansas City, Missouri), Michigan’s Adventure (Muskegon, Michigan), Valleyfair (Shakopee, Minnesota), Six Flags Great Escape (Queensbury, New York), Schlitterbahn Waterpark Galveston (Galveston, Texas), and Six Flags St. Louis (Eureka, Missouri)—to EPR Properties and EP OPCO WOFR, LLC on April 6, 2026, pursuant to the Equity Purchase Agreement dated March 5, 2026. A press release announcing the consummation of the transaction was issued and furnished as Exhibit 99.1. No financial terms of the transaction are disclosed in the filing.

• ·Equity Purchase Agreement dated March 5, 2026
• ·Transaction filed under Items 7.01 (Regulation FD Disclosure), 8.01 (Other Events), and 9.01 (Financial Statements and Exhibits)

06-04-2026

Integra LifeSciences Holdings Corp (IART) filed its definitive DEF 14A proxy statement on April 6, 2026, disclosing compensation data for Principal Executive Officers (PEOs), including Jan DeWitte (2021-2025) and Mojdeh Poul (2025), as well as former PEO Peter J. Arduini (2021), and non-PEO Named Executive Officers across fiscal years 2021-2025. The filing includes XBRL-tagged details on equity awards, pension value changes, fair value adjustments, vesting dates, dividends on unvested awards, and other compensation adjustments, with no specific monetary values provided in the extracted content. No period-over-period performance metrics or changes are quantified in the visible data.

• ·Filing covers fiscal years 2021 through 2025 (January 1 to December 31 each year).
• ·CIK: 0000917520.
• ·Currency: USD.

06-04-2026

Webster Financial Corporation announced business line leadership appointments effective upon the closing of its proposed acquisition by Banco Santander, S.A., aligning Webster's operations into Santander's global structure, primarily under Retail & Commercial Banking. Key leaders include Chris Motl for combined Commercial Banking, Jason Mock for Retail Banking supported by James Griffin for national distribution across more than 500 branches, and Chad Wilkins for Healthcare Financial Services. The announcement positions the combined entity for strategic value capture while noting support function appointments are forthcoming.

• ·Webster businesses align primarily to Santander’s Retail & Commercial Banking global segment, including Healthcare Financial Services.
• ·No changes to Corporate & Investment Banking or Wealth Management & Insurance structures.
• ·Leadership appointments for support functions to be shared in coming weeks.
• ·Digital offerings expected in 2027 and beyond under Openbank.

06-04-2026

Minerva Neurosciences, Inc. announced the expected date for its 2026 annual meeting of stockholders as June 3, 2026, which is more than 30 days before the one-year anniversary of the 2025 annual meeting. Stockholders intending to bring business before the meeting or nominate directors must provide notice by the close of business on April 21, 2026, while proposals for inclusion in the proxy statement under Rule 14a-8 must be received by April 16, 2026. All notices must comply with the company's bylaws and applicable regulations and be directed to the Secretary at 1500 District Avenue, Burlington, MA 01803.

• ·The 2026 annual meeting date is more than 30 days before the one-year anniversary of the 2025 annual meeting.
• ·Securities registered: Common Stock, $0.0001 par value per share, trading symbol NERV.

06-04-2026

Conexeu Sciences Inc. filed an S-1/A registration statement on April 6, 2026, for a direct listing of its common stock on Nasdaq, enabling Registered Securityholders to sell shares at prevailing market prices without the company receiving any proceeds. The company engaged an Advisor for the listing process, paying $125,000 upon execution of the engagement letter and another $125,000 upon consummation, totaling $250,000 in fees expensed as incurred. Financial statements for fiscal years ended October 31, 2025, and October 31, 2024, were audited by Adeptus Partners, LLC, with no traditional underwriting or book-building involved, potentially leading to higher volatility in opening trading.

• ·Filing covers fiscal year ended October 31, 2026, and period ended January 29, 2027.
• ·Advisor acts under Nasdaq Rule 4120(c)(8) to determine readiness to trade and approve Current Reference Price.
• ·No involvement in price discovery or sales by company or securityholders with Advisor, except specified advisory role.
• ·McMillan LLP provided legal opinion on validity of registered common stock shares.

06-04-2026

PacifiCorp entered into a $2,550,000,000 Letter of Credit Agreement dated April 3, 2026, with PNC Bank, National Association as Administrative Agent and PNC Capital Markets LLC as Lead Arranger, providing for the issuance of letters of credit by various Issuing Banks. The Aggregate Commitment is $2,550,000,000, with fees determined by an Applicable Percentage ranging from 0.875% to 1.750% based on PacifiCorp's S&P or Moody's ratings. No prior period data or performance declines are mentioned in the agreement.

• ·Applicable Percentage fees: 0.875% (Rating Level 1, A/A2 or higher) to 1.750% (Rating Level 6, BB+/Ba1 or below/unrated)
• ·Closing Date Aggregate Commitment: $2,550,000,000
• ·Agreement filed as Exhibit 10.1 in 8-K on April 6, 2026

06-04-2026

Abra Financial Holdings, Inc. filed a Rule 425 disclosing a transcript of an interview with CEO Bill Barhydt on April 5, 2026, discussing bullish prospects for decentralized financial infrastructure, tokenization of assets, and Bitcoin's resilience amid volatility. Barhydt noted heightened interest from traditional finance firms following Abra's business combination agreement with New Providence Acquisition Corp. III announced on March 16, 2026, with no declines or flat metrics reported. The conversation emphasized institutional adoption of DeFi, custody, and Bitcoin borrowing services.

• ·Business Combination Agreement dated March 16, 2026
• ·Interview aired on Wolf of All Streets, Sunday, April 5, 2026
• ·Increased outreach from traditional finance firms in the 20 days post-going-public announcement

06-04-2026

Abra Financial Holdings, Inc., party to a Business Combination Agreement dated March 16, 2026 with New Providence Acquisition Corp. III, announced that its CEO Bill Barhydt participated in an interview on the Wolf of All Streets podcast on April 5, 2026, expressing strong bullishness on decentralized financial infrastructure, tokenization, and increased interest from traditional finance firms following the going-public announcement about 20 days prior. Barhydt highlighted Abra's resilience through past crypto cycles and noted proactive outreach from TradFi for DeFi and custody solutions, with no price discussions beyond Bitcoin borrowing. While optimistic on Bitcoin's long-term potential despite possible short-term capitulation to the mid-50Ks (around 7% drop), he emphasized the sector's 'pre-disastered' state attracting institutions.

• ·Business Combination Agreement dated March 16, 2026
• ·Interview date: April 5, 2026
• ·Filing date: April 6, 2026
• ·Going-public announcement approximately 20 days before interview

06-04-2026

Lakewood-Amedex Biotherapeutics Inc. (LABT) filed Amendment No. 5 to its Form S-1 registration statement on April 6, 2026, to register 4,689,177 shares of common stock for resale by existing stockholders via a direct listing on Nasdaq Capital Market under symbol 'LABT', a novel process without underwriting that may result in volatile trading. The company engaged RBW Capital Partners LLC as financial advisor (to receive 272,219 shares as 1.75% compensation) and placement agent (7% fee), and raised $7,500,000 from selling 937,500 shares of Series C Preferred Stock in a private placement prior to listing. Nasdaq approval is required but not guaranteed; failure would terminate the direct listing.

• ·Company is an emerging growth company and smaller reporting company, electing reduced public reporting requirements.
• ·Series C Preferred Stock convertible into common stock at lower of $10.00 or 80% of 5-day VWAP (floor $1.00).
• ·Advisory shares to RBW not registered in this offering; resale registration for Series C underlying shares and advisory shares to be filed within 10 days of Nasdaq listing.
• ·Listing conditioned on Nasdaq approval; no public market currently exists for common stock.

06-04-2026

CION Investment Corporation announced it will report its financial results for the first quarter ended March 31, 2026, on Thursday, May 7, 2026, prior to the market open, followed by an earnings conference call at 11:00 a.m. ET. Dial-in numbers and webcast details were provided, with slides available on the company's website. As of December 31, 2025, CION had approximately $1.9 billion in total assets.

• ·Participant dial-in: Domestic (Toll-Free) 877-484-6065; International (Toll) +1 201-689-8846.
• ·Webcast registration: CION Investment Corporation First Quarter Conference Call link.
• ·Company website: www.cionbdc.com

06-04-2026

ProCap Financial, Inc. (Nasdaq: BRR) completed its acquisition of CFO Silvia, Inc., an AI agent lab focused on finance, creating a combined company with more than $30 billion in assets on the Silvia platform and thousands of multi-millionaire users. The Silvia platform, launched publicly in May 2025, features proprietary AI agents for portfolio analysis, scenario planning, and real-time insights across diverse assets including stocks, bonds, crypto, and real estate. ProCap Financial, founded in 2025 and having raised more than $750 million, positions itself as the first publicly traded agentic finance firm emphasizing AI and Bitcoin.

• ·Silvia public launch: May 2025
• ·Users connect assets including stocks, bonds, crypto, real estate, vehicles, collectibles, precious metals, and private investments

06-04-2026

Unicycive Therapeutics, Inc. (UNCY) filed an 8-K on April 6, 2026, under Item 5.02, disclosing a departure of directors or certain officers; election of directors; or appointment of certain officers, with the event dated April 6, 2026. No specific details regarding the individuals involved, reasons for departure, or terms of any election/appointment are included in the provided filing content. The filing contains primarily metadata, XBRL tags, and company details such as CIK 0001766140 and address in Los Altos, CA.

• ·CIK: 0001766140
• ·EIN: 813638692
• ·SIC: 2834 (Pharmaceutical Preparations)
• ·State of Incorporation: DE
• ·Fiscal Year End: December 31
• ·Business Address: 4300 El Camino Real, Suite 210, Los Altos, CA 94022
• ·Business Phone: 650-384-0642
• ·SEC File Number: 001-40582

06-04-2026

General Motors Financial Company, Inc. closed the public offering of $1,400,000,000 aggregate principal amount of its 4.750% senior notes due 2029 on April 6, 2026, pursuant to an underwriting agreement dated April 1, 2026. The estimated net proceeds are approximately $1.39 billion, which will be added to general funds for corporate purposes. The notes are unsecured senior obligations with semi-annual interest payments at 4.750% per annum, maturing on April 6, 2029.

• ·Underwriting agreement dated April 1, 2026; shelf registration on Form S-3 (File No. 333-291951) filed December 5, 2025.
• ·Interest payable semi-annually on April 6 and October 6, commencing October 6, 2026.
• ·Optional redemption at greater of 100% principal or discounted present value of remaining payments at U.S. treasury rate + 15 basis points.
• ·Indenture covenants limit asset sales, mergers, and liens unless notes equally secured; events of default include nonpayment and bankruptcy.

06-04-2026

Israel Discount Bank of New York filed its 13F-HR on April 6, 2026, disclosing total holdings of $45,584,962 across 43 positions as of March 31, 2026. The portfolio is diversified with significant allocations to international bond and treasury ETFs such as SPDR Bloomberg International Treasury ($5,685,868) and iShares 5-10 Year Investment Grade Corporate Bond ETF ($3,222,524), alongside individual stocks like Apple Inc. ($291,351) and Microsoft Corp. No period-over-period changes or performance metrics are provided in the filing.

• ·Portfolio includes iShares MSCI Israel ETF holding of 3,920 shares valued at $454,877
• ·Exxon Mobil Corp. holdings: 2,952 shares DFND valued at $500,836 and 398 shares SOLE valued at $67,525
• ·Microsoft Corp. holdings: 651 shares valued at $240,981 and additional 633 shares valued at $234,318
• ·Filed under SEC file number 028-17991; business address 1114 Avenue of the Americas, 9th Floor, New York, NY 10036

06-04-2026

River Financial Corporation's definitive proxy statement solicits votes for the Annual Meeting on May 19, 2026, primarily for the election of nine director nominees to one-year terms. As of the March 25, 2026 record date, 7,812,617 shares of common stock were issued and outstanding, held by 1,316 record holders. Directors, executive officers, and the ESOP, which owns 217,095 shares (2.78%), collectively beneficially own approximately 27.59% of the common stock and intend to vote in favor of all nominees.

• ·Meeting quorum requires majority of votes entitled to be cast on record date.
• ·Election of directors requires majority of votes cast.
• ·Proxies without instructions will be voted in favor of nominees.
• ·Director ages range from 46 (Charles R Moore, III) to 84 (Larry Puckett); tenure since 2006 for most founding directors.

06-04-2026

New Peoples Bankshares Inc. (NWPP) filed definitive additional proxy materials (DEFA14A) on April 06, 2026, pursuant to Section 14(a) of the Securities Exchange Act of 1934. The filing includes company details such as its address in Honaker, VA, EIN 31-1804543, and fiscal year end December 31, but contains no financial metrics, performance data, or period comparisons. It appears to primarily consist of header information and embedded graphics or images.

• ·Company CIK: 0001163389
• ·State of Incorporation: VA
• ·Business Address: 67 Commerce Drive, Honaker, VA 24260
• ·Business Phone: 2768737000
• ·SEC File Number: 000-33411

06-04-2026

ACIMA Private Wealth, LLC filed its 13F-HR on April 6, 2026, reporting holdings as of March 31, 2026, with a total portfolio value of $318,627,680 across 177 positions held on a sole discretionary basis. The portfolio is heavily weighted toward diversified ETFs such as GS ActiveBeta U.S. Large Cap Equity ETF ($17.5M) and iShares Core S&P Mid-Cap ETF ($16.2M), alongside individual stocks including Apple Inc. ($8.0M) and various broad market, sector, and international funds. This quarterly snapshot provides no period-over-period comparisons or performance metrics.

• ·All positions held as sole discretionary shares with no voting authority shared
• ·No reported changes from prior period in this filing
• ·Filer CIK: 0001761961, based in Richmond, VA

06-04-2026

GreenHaven Associates Inc. filed its Form 13F-HR on April 6, 2026, reporting 27 equity holdings totaling $6,071,579,036 as of March 31, 2026. The portfolio shows concentration in homebuilding stocks such as Lennar Corporation ($923,294,256 Class A and $30,624,643 Class B), D.R. Horton ($475,730,762), and PulteGroup ($646,514,989), alongside positions in electronics distributors like Avnet ($241,581,949) and Arrow Electronics ($271,885,283), and automaker General Motors ($933,197,058). No period-over-period changes are disclosed in the filing.

• ·Filing period end date: March 31, 2026
• ·Sole investment discretion across all reported holdings
• ·Business address: 3 Manhattanville Rd, Purchase, NY 10577

06-04-2026

On March 24, 2026, the board of directors of 1st Franklin Financial Corporation appointed Sharon Mancero as a member of the Board, effective April 1, 2026. Ms. Mancero was also appointed to the Audit Committee and determined to be an independent director under Nasdaq standards. She brings over 30 years of experience from Wells Fargo Bank, N.A., in asset-backed finance for consumer finance companies, and is the Principal of M2 Advisory Group, LLC.

• ·Ms. Mancero founded M2 Advisory Group in January 2025 to advise consumer finance organizations on risk management, data governance, and capital strategies.
• ·Previous leadership roles: Vice President and President of National Automotive Finance Association (NAF); Vice Chair and Chairperson of American Financial Services Association (AFSA).
• ·Most recent role: Managing Director at Agora Data, Inc., leading strategic initiatives.
• ·Filing signed by Jenna C. Hood on April 6, 2026.

06-04-2026

ATMOS ADVISORY, LLC filed its 13F-HR on April 6, 2026, disclosing 20 ETF positions held as of March 31, 2026, with a total portfolio market value of $176,092,481,000. The portfolio is diversified across US equities, international equities, emerging markets, REITs, small cap, value, real estate, bonds, municipal bonds, TIPS, and international bonds, primarily via Vanguard and Schwab ETFs. Largest holdings include Vanguard Total Bond Market ETF ($22,609,321,000), Vanguard Municipal Bond Tax-Exempt Bond ETF ($21,853,117,000), and Vanguard Tax-Managed International FTSE Developed Markets ETF ($20,271,003,000).

• ·All holdings reported with sole shared voting authority (SH SOLE) and no investment discretion.
• ·Former company name: GPWM LLC (changed January 18, 2022).
• ·Business address: 1001 Liberty Ave Ste 500, Pittsburgh, PA 15222.
• ·SEC file number: 028-21570.

06-04-2026

NewtekOne reported a record 961 loan originations in 1Q26, up 40% YoY from 1Q25, with dollar volume of $391 million compared to $366 million in 1Q25. Volume accelerated meaningfully after a slower start in January and early February due to process enhancements and staff training, with March originations reaching 500 units (+74% YoY from 287) and $230 million (+34% YoY from $172 million). The company remains comfortable with Q1 EPS guidance of $0.37-$0.47 and full-year guidance of $2.15-$2.55.

• ·Earnings conference call scheduled for April 30, 2026.
• ·Technological advances including AI incorporated into loan origination process to reduce time, cost, and improve credit quality.

06-04-2026

Kingsway Financial Services Inc. (KFS) has issued a proxy statement for its annual shareholder meeting on May 18, 2026, at the NYSE, seeking approval for electing eight directors, ratifying Plante & Moran, PLLC as auditors for fiscal 2026, amending the Certificate of Incorporation for a corporate name change, increasing shares reserved under the 2020 Equity Incentive Plan, and an advisory vote on 2025 named executive officer compensation. As of the March 20, 2026 record date, 28,946,665 common shares are outstanding, with major beneficial owners including Capricorn Fund Managers Ltd (6.59%), Charles L. Frischer (6.44%), and Greenhaven Road Investment Management, L.P. (6.81%); no performance declines or flat metrics are reported in the filing.

• ·Preferred shares convertible into 2.63158 common shares each, subject to adjustment.
• ·Meeting quorum requires majority of voting power of issued and outstanding shares.
• ·John T. Fitzgerald's 400,000 restricted shares from original 1,000,000 grant vest in 100,000 tranches annually through September 5, 2028.
• ·Kent A. Hansen's Hansen Restricted Common Shares total approximately 35,489, vesting in tranches through 2028.
• ·Charles L. Frischer served as director through May 18, 2026.